Category Archives: Ameritas Investment Corp

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ

March 2018-Paradise Valley, AZ

The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose 2 prior regulatory matters, 4 currently pending customer disputes and 5 prior customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In a prior customer dispute, FINRA case #9-04700 a customer of Ameritas Investment Corp. alleged damages of $1.5 million in connection with a real estate security. That case was settled for $475,000.

In FINRA arbitration #15-3118 a customer of Ameritas Investment Corp. alleged damages of $425,000 in connection with a promissory note investment. That case was settled for $95,000 in June 2017.

The pending customer disputes include:

  • FINRA Case 17-0334 in which an Ameritas Investment Corp. customer alleges damages of $441,000 in connection with an investment in a promissory note.
  • CV 2017-0061 pending in Superior Court of Arizona in which an Ameritas customer alleges damages of $875,000 in connection with a promissory note investment.
  • 2-13 CV-02461-MEA pending in US District Court-District of Arizona in which another Ameritas customer alleges damages of $450,000 in connection with a promissory note investment.

Blake was registered with Ameritas Investment Corp.  from 6/2005-3/2013 and with Mid Atlantic Capital from 5/2013-10/2013.

If you have questions about an account handled by Michael J. Blake, call for a no charge consultation to learn about your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Michael J. Blake-Former Ameritas Investment Broker-Discloses Numerous Customer Complaints Involving Promissory Notes-Paradise Valley, AZ

April 2017-Paradise Valley, AZ

The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose a prior regulatory matter, 5 currently pending customer disputes and 4 prior customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In a prior customer dispute, FINRA case #9-04700 a customer of Ameritas Investment Corp. alleged damages of $1.5 million in connection with a real estate security. That case was settled for $475,000.

The pending customer disputes include:

  • CV 2017-0061 pending in Superior Court of Arizona in which an Ameritas customer alleges damages of $875,000 in connection with a promissory note investment.
  • FINRA arbitration #16-01182 in which a customer of Ameritas Investment Corp. alleges damages of $425,000 in connection with a promissory note investment.
  • FINRA arbitration #15-3118 in which another customer of Ameritas Investment Corp. alleges damages of $425,000 in connection with a promissory note investment.
  • 2-13 CV-02461-MEA pending in US District Court-District of Arizona in which another Ameritas customer alleges damages of $450,000 in connection with a promissory note investment.

Blake was registered with Ameritas Investment Corp.  from 6/2005-3/2013..

If you have questions about an account handled by Michael J. Blake, call to learn about your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Thomas Carreras-Ameritas Investment Broker-Discloses Customer Dispute- West Palm Beach, FL

January 2017-West Palm Beach, FL

According to publicly available records Thomas B. Carreras (CRD# 1815164) ,  a  stockbroker currently employed by Ameritas Investment Corp.  discloses a  pending customer dispute.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

A customer of Ameritas Investment Corp. has filed FINRA Case # 16-2816, seeking damages of $95,000 and  alleging that Carreras mishandled his third party money managed account, breaching his fiduciary duty, churning the account, negligence and breaching contractual obligations.

Carreras has been registered with Ameritas Investment Corp. since October 2003.  He was previously registered with Intervest International Equities and Woodbury Financial Services.

If you have questions about an account in an account handled by Thomas B. Carreras , contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

John S. Bixby-Former Ameritas Investment Broker-Discloses Discharge and Customer Disputes

January 2017-Lincoln, NE

According to publicly available records   John S. Bixby,  a  stockbroker currently employed by Drexel Hamilton discloses a  separation from employment after allegations and two finalized customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In June 2016, Bixby was ‘Discharged’ from Ameritas Investment Corp, who made the following allegations in connection with the separation from employment: “The registered representative failed to follow firm policies and procedures regarding communications with clients and sales practices”

Bixby has been registered with Drexel Hamilton since November 2016 and was registered with Ameritas Investment Corp. from 2/1989-6/2016.

If you have questions about an account in an account handled by John S. Bixby , contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes

August 2016- Lincoln, NE

The FINRA records of Larry D. Freie ,  a  stock broker who is currently  employed by Ameritas Investment Corp.  disclose a prior customer dispute and one currently pending customer dispute.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In the currently pending matter a customer of Freie’s prior employer, Sunset Financial Services, alleges that he was misled related to direct investments that he purchased for $190,000. No specific damages are pleaded.

In the prior matter, FINRA Case 13-0079, a customer of Sunset Financial Services alleged damages of $275,907 and that the firm through Freie misrepresented and recommended unsuitable investments in real estate securities. That case was settled for $107,500.

Freie has been employed by  Ameritas Investment Corp.  since 2/2014. He was employed by Sunset Financial Services from 1/2007-3/2014.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870